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8000. INVESTIGATIONS AND SANCTIONS
- 8100. GENERAL PROVISIONS
- 8200. INVESTIGATIONS
- 8300. SANCTIONS
- 8310. Sanctions for Violation of the Rules
- 8311. Effect of a Suspension, Revocation, Cancellation, Bar or Other Disqualification
- 8312. FINRA BrokerCheck Disclosure
- 8313. Release of Disciplinary Complaints, Decisions and Other Information
- 8320. Payment of Fines, Other Monetary Sanctions, or Costs; Summary Action for Failure to Pay
- 8330. Costs of Proceedings
- Regulatory Notice 16-37October 17, 2016
- Regulatory Notice 16-06January 29, 2016
- Regulatory Notice 14-09February 26, 2014
- Regulatory Notice 13-34October 23, 2013
- Regulatory Notice 08-57October 16, 2008